Cboe Global Markets

Job Description

Position Summary:

The Compliance Specialist, CMP will help perform a variety of duties in the Compliance Department as part of the Compliance Monitoring Program (“CMP”) team. Responsibilities include analyzing controls to mitigate risk; performing monitoring and testing of controls for compliance with regulatory requirements and internal policies and procedures; interacting with departments across the company to document, monitor, and strengthen controls, policies, and procedures; reviewing updated control language for changes to monitoring and testing processes; and tracking of compliance with certification processes.

Duties and Responsibilities:

The Compliance Specialist, CMP will work as part of a team to perform the following tasks:

• Evaluate policies and procedures and provide recommendations for improvements as needed: addressing gaps, adding controls, and improving effectiveness. 
• Analyze existing controls, including monitoring and testing as appropriate, to assess their effectiveness in meeting regulatory obligations and providing strong internal risk mitigation. Document the scope of work performed, recommendations for enhancement, and any exceptions. 
• Participate in annual compliance risk assessment process, meeting with risk owners across the company to gather their views of compliance risk and then providing results input with other members of Compliance. 
• Assist in reviewing relevant laws, rules, regulations, and regulatory enforcement actions to identify new and changing compliance requirements or emerging compliance risk. 
• Establish and maintain relationships with key business, operational, legal, and other personnel to support the exchange of communication with Compliance. 
• Administer projects and action items to complete critical work for the Compliance Department using methods for project tracking and status reporting. 
• Assist with the preparation and support of regulatory examinations, as assigned. 
• Provide backup support to other Compliance Department functions, as assigned. 

Work Experience:

• At least 2 years of experience in compliance, internal audit, and/or policy and procedure or technical writing. 

Knowledge, Skills and Abilities:

• Highly motivated, detail-oriented, diligent, and organized. 
• Ability to understand business process and controls. 
• Excellent written and verbal communication skills, including the ability to write clearly and concisely for multiple audiences. Direct experience with policy writing, editing, and maintenance a plus. 
• Critical thinking and analytical skills to effectively interpret evidence and identify exceptions. 
• Team player who can work cooperatively in group situations, willingly offer assistance and support to co-workers within and outside the Compliance team, exhibit objectivity and openness to others’ views, and give and welcome feedback. 
• Capability to serve as a liaison between Compliance, other control functions, and business lines to ensure collaboration and coordination. 
• Ability to work both independently and in a dynamic team-oriented environment. 
• Ability to manage multiple projects/assignments concurrently to be successful in a fast-paced and high-growth environment. 
• Above-average proficiency with Microsoft Office suite. 
• Familiarity with Jira, SharePoint, and Onspring or other GRC software a plus. 

Education:

• Bachelor's degree required

More About Cboe

We’re reimagining the future of the workplace by focusing on what matters most, our people. Our journey is an inclusive one. We’re investing deeply in leadership programs and career development initiatives that ensure everyone has an equal chance to succeed. We celebrate the diversity in our communities, inside and out, and welcome new perspectives with equity, inclusion and belonging. 

We work with purpose, solving problems with ingenuity, collaboration, and a lot of passion. We’re an engaged and excited team connecting markets across borders and embracing growth in all its forms to achieve incredible outcomes. 

Learn more about life at Cboe on our website and LinkedIn. 

Equal Employment Opportunity 

We're proud to be an equal opportunity employer - and celebrate our associates' differences, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, and Veteran status.

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Any communication from Cboe regarding this position will only come from a Cboe recruiter who has a @cboe.com email or via LinkedIn Recruiter. Cboe does not use any other third party communication tools for recruiting purposes.